The SEC enforces the securities laws to protect the more than 65 million American households that have turned to the securities markets to invest in their futures—whether it’s starting a family, sending kids to college, saving for retirement or attaining other financial goals.

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U.S. markets are an important part of facilitating the American dream. They allow people to invest for tomorrow, and they allow people who have invested over time to continue to reap the rewards of those investments.

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Companies and individuals are increasingly considering initial coin offerings (ICOs) as a way to raise capital or participate in investment opportunities. Like any investment, these can carry risk. Get hip to the three “Rs” of ICOs: Risks, Rewards and Responsibilities.

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Investor Alerts & Bulletins

The SEC's Office of Investor Education and Advocacy issues Investor Alerts & Bulletins as a service to investors. Investor Alerts typically warn investors about the latest investment frauds and scams. Investor Bulletins tend to educate investors about investment-related topics including the functions of the SEC.

When it comes to saving for retirement, you have big decisions to make, and the SEC wants to help. The SEC offers tools and resources to help you learn more about the 403(b) and 457(b) retirement plans that are most often offered in public school districts.

This text file contains the Central Index Key (CIK) numbers, company names, SEC reporting file numbers, and addresses (business addresses are provided when mailing addresses are not available) of active broker-dealers who are registered with the SEC.